Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an
Company’s directors or executives; (2) defects of the Company’s internal control (if any), completion of amendment or incompletion and relevant clarification. 11.2 Describe the opinions of the Audit Committee
complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is
unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report
amendment under the SEC Office's order and the period of completion or the expected period of completion are attached to the requisition for exemption). 5. In case of establishing a full branch office
, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of securities for itself, a
management of the clients’ assets within sixty days as from the date when the intermediary becomes under receivership by court order. Upon completion of proceedings as prescribed in this Notification, the SEC
course and evidence of attendance of the Contacts to be presented to the Office following completion of the training or seminar or upon the Office’s request. In this regard, the Office may request the